Broker Dealer Accountant

Work Location
:
Belfast, United Kingdom
Hours:
35
Line of Business:
Personal & Commercial Banking
Pay Details:
We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
Job Description:
Analyst

• Finance Accounting -

Broker Dealer

Regulatory Reporting

The Regulatory Reporting Team is

• an integral
• part of the overall Finance – Accounting Function within
• TD

Securities

• and its subsidiaries which supports the reporting responsibilities for the different US regulated entities as well as providing key metrics internally for management
• of busine ss,
• risk and control
• purposes.  The team is responsible for the regulatory policy development and the related reporting production
• risk
• controls/processes as it relates to overall FOCUS reporting, net capital and customer protection as well as maintaining key relationships with both internal
• and
• regulator y
• stakeholders (SEC/FINRA /NFA/External Audit ).

Job Description

:

• The primary purpose of this
• A nalyst
• role is to provide
• support
• to

TD Securities

• US
• R egulatory team
• with
• the
• prepar a tion
• and analytical review of the
• daily

SEC Rule 15c3-3

Customer

Prote ct ion

as well as a
ssist with FOCUS and Net capital related needs
.

The role will also entail support ing

surrounding on-going initiatives

of the group, assisting with engagement with internal and external stakeholders including senior management, regulat
ors and external audits.

Key Accountabilities

• Assist in the Weekly Customer Prote c tion 3-3 Calculation, while working to build to a daily process ;
• Identity opportunities to enhance the production process through efficiencies,
• and

strengthen the reporting control framework through automation
;

Optimize the regulatory reporting results into useful analytics for internal management purposes , primarily

relating to

customer protection lock up;

Assist

the broker regulatory team in

the monthly filing of the FOCUS and respective supplemental

reports:

• SSOI, SLS,
• OBS, Form Custody,

SIPC

,

FR2004

;

Ability to build relationships across teams – Operations, Product Control, Regulatory Reporting, Compliance ,

etc
.
;

Ensure

• polices and procedures documents
• (SOPs)
• are maintained and updated regularly .

Desired Skillset

Finance /Account ing

related degree
; and/or a minimum of 1 year relevant finance experience
;

Experience

• in the following
• areas
• would
• be

beneficial :

Finance industry experience in

• various relevant
• role s ;
• A ccounting,
• O perations,

Product Control, L

egal entity

Double entry b

• ook-keeping experience
• High proficiency level across Microsoft suite of products: Exce l (Formulas, Pivot tables, Macro
• k nowledge) ;
• W orking
• k nowledge of Axiom (Adenza) ;

Broadridge

BPS and

Broadridge NAPE/IMPACT

• and
• other regulatory system functionalit ies is a plus;
• Advance working knowledge and experience in the financial and regulatory aspects of broker dealers,
• specifi c ally
• in 15c3-3, along with the business, product, operational and institutional knowledge;

Automation skills via Alteryx & PowerBI is a plus

;

Communicate with senior management regarding specific drivers and variances associated etc
.
;

Detail - oriented and analytical ,

with

the

ability to work efficiently with

advance d

spreadsheets and solve problems with

minimal guidance.

Who We Are

TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.